Capturing Rollovers


Posted on January 26, 2012, by Fred Reish in Broker-Dealers, DOL Activity, Registered Investment Advisers, RIA. Comments Off on Capturing Rollovers

I have recently written an article on “Capturing Rollovers.” The article discusses the DOL’s guidance on the issues involved in capturing rollovers, both by broker-dealers and RIAs. The article analyzed that guidance and discussed programs for RIAs and broker-dealers. You can download a PDF of the article by clicking on the link below:

http://www.drinkerbiddle.com/files/ftpupload/pdf/CapturingRollovers.pdf







Recent Insights

Interesting Angles on the DOL’s Fiduciary Rule #55

The DOL’s RFI and the Recommendation of Annuities

This is my 55th article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions....

Interesting Angles on the DOL’s Fiduciary Rule #54

The DOL’s RFI and Possible changes to BICE

This is my 54th article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions....

Interesting Angles on the DOL’s Fiduciary Rule #53

The Fiduciary Rule and Discretionary Investment Management

This is my 53rd article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions. These...